CPD Hours Level
Seminar 6 IntermediateInformation


This new full day course will explore due diligence within the financial services sector for FCA authorised firms.

The course assumes some prior experience of the due diligence process and is aimed at those who wish to bolster their knowledge in line with the FCA’s expectations.

The course will include practical examples of what good due diligence ‘looks like’ and the interactive session will allow you to align the due diligence process to your own business environment.

What You Will Learn

This course will cover the following:

  • The definition of due diligence within the financial services environment
  • Why robust due diligence is crucial
  • How to undertake background checks on third parties
  • Appointed Representatives and due diligence
  • How to incorporate due diligence checks within your compliance framework
  • The difference between good and poor practice
  • The risks of poor practice
  • What to do if it all goes wrong

Book now

Future dates are coming soon.
Please let us know if you wish to be notified.
Prices (ex VAT)
Plan Information
Ticket Information
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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